SEC is proposing to codify and revise notifications prescribing rules on the operating systems and service provision of securities companies and derivatives business operators to be more appropriate and flexible but will mostly be based on the same principle. The revision will cover various systems for example, operating systems relating to organizational structure and personnel readiness, customer service and information system, internal control system, and risk management system. In add...
On 11 May 2023, the SEC Board Meeting No. 9/2566 approved the principles for prescribing regulations concerning the application for licenses to operate securities trading center, clearing house
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) กล่าวเปิดงาน “Open House – SEC Open Data Services” ซึ่ง ก.ล.ต. จัดขึ้นเพื่อเสริมสร้างความร่วมมือของ
must make a prior agreement with the clients the asset allocation or the investment planning services and parameters set in advance which are based on house view. In addition, the intermediaries must
principles and changing advanced technologies. The proposed revisions would apply to future exchange, derivative clearing house, securities clearing house and securities depository with regard to improvement
The existing regulations for newly issued share offering through PP require that listed companies submit an application for approval to the SEC and disclose material information related to the
Chunhavajira(3) Mr. Rawin BoonyanusasnaThe new governors will commence a three-year term on 5 February 2024. Concurrently, three existing governors to depart upon completion of their term are: (1) Dr. Prasarn
years, while the existing rotation period was 5 years and the existing cooling-off period was 2 years. The revision will be effective from 1 January 2019”. To mitigate impacts at the initial phase of
assessing clients’ information; (3) Post-trading service providers, i.e., securities clearing house, securities depository centre, securities registrar, and the newly added derivatives clearing house; (4
Under the proposed regulations, in order to be qualified for exemption, the futures exchange, derivatives clearing house, securities clearing house and securities depository shall submit its rule to